0001209191-16-129132.txt : 20160621
0001209191-16-129132.hdr.sgml : 20160621
20160621185218
ACCESSION NUMBER: 0001209191-16-129132
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160617
FILED AS OF DATE: 20160621
DATE AS OF CHANGE: 20160621
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: ATHERSYS, INC / NEW
CENTRAL INDEX KEY: 0001368148
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 204864095
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 3201 CARNEGIE AVENUE
CITY: CLEVELAND
STATE: OH
ZIP: 44115-2634
BUSINESS PHONE: 216-431-9900
MAIL ADDRESS:
STREET 1: 3201 CARNEGIE AVENUE
CITY: CLEVELAND
STATE: OH
ZIP: 44115-2634
FORMER COMPANY:
FORMER CONFORMED NAME: BTHC VI Inc
DATE OF NAME CHANGE: 20060629
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Van Bokkelen Gil
CENTRAL INDEX KEY: 0001402604
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33876
FILM NUMBER: 161725354
MAIL ADDRESS:
STREET 1: 3201 CARNEGIE AVENUE
CITY: CLEVELAND
STATE: OH
ZIP: 44115
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-06-17
0
0001368148
ATHERSYS, INC / NEW
ATHX
0001402604
Van Bokkelen Gil
3201 CARNEGIE AVENUE
CLEVELAND
OH
44115-2634
1
1
0
0
Chairman and CEO
Common Stock
2016-06-17
4
F
0
19027
2.16
D
846896
D
Common Stock
2016-06-17
4
F
0
3728
2.16
D
843168
D
Common Stock
2016-06-20
4
A
0
225008
0.00
A
1068176
D
Employee Stock Option (right to purchase)
2.19
2016-06-20
4
A
0
500000
0.00
A
2026-06-20
Common Stock
500000
500000
D
Shares withheld from the quarterly vesting of a June 2013 restricted stock unit award related to the minimum tax withholding obligation.
Shares withheld from the quarterly vesting of a annual restricted stock unit awards related to the minimum tax withholding obligation.
Award of annual restricted stock units, each of which represents a contingent right to receive one share of Athersys, Inc. common stock after vesting. The restricted stock units vest ratably on a quarterly basis over a four-year period.
Securities beneficially owned are comprised of: (1) 730,072 shares of common stock owned and (2) unvested restricted stock units aggregating 338,104 related to annual awards, which vest quarterly over a four-year period from grant date.
Award of an annual stock option. The option vests ratably on a quarterly basis over a four-year period.
/s/ Laura K. Campbell, as attorney-in-fact for Gil Van Bokkelen
2016-06-21